Director of Compliance & Governance at Spring Labs

| Greater LA Area
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About Spring Labs:
We’re reinventing the model for data ownership and changing how information is exchanged by creating the Spring Protocol — a blockchain-based protocol that enables competitively-sensitive parties to exchange information directly, and in a fundamentally new way.
We’re a Series A company who has raised more than $38m in funding from some of the top VCs in the world, including August Capital, General Motors Ventures, RRE, Pritzker Group, Jump Capital, Galaxy Digital, Multicoin Capital, and Wavemaker Genesis.
The first use cases for the Spring Protocol are focused on building a more secure and cost-effective financial services solution for credit and identity data, effectively disrupting the existing bureau system used today. To date, we’ve signed partnerships with more than 25 of the world’s leading fintechs and financial institutions. (You can read more about these partnerships by clicking here and here.)
We're a rapidly growing team of 35 entrepreneurs from backgrounds such as Snap, Google, Microsoft, Apple, Goldman Sachs, the NSA, Avant, Harvard, Deloitte, HSBC, and more, and if you're someone who wants to work at the bleeding edge of nascent technology, push yourself and collaborate with a resourceful and highly-motivated team, and strive to build a more secure, open, and transparent world of data sharing, then we would love to hear from you!
About the Governance, Risk and Compliance Director Role:
The Director of Compliance & Governance will be in charge of establishing and overseeing compliance policies and procedures for critical aspects of the Spring Labs network (“Spring Network”), including implementation of risk-appropriate transaction monitoring, testing, and controls, as well as establishing uniform due diligence frameworks for on-boarding of financial institutions as participants on the Spring network (“Spring Partners”). This person will report to Chief Operating Officer, and will work closely with General Counsel and Chief Information Security Officer to analyze any applicable regulatory, security, or operational requirements. This person will be the senior point of contact for Spring Partners with respect to due diligence requests and processes. The perfect candidate has a strong background in setting up controls and procedures in the financial services industry, is interested in new technologies and quickly-scaling environments, and is able to collaborate with other departments and customers to achieve results.

Responsibilities

  • Work with other members of senior management to ascertain areas of risk
  • Conduct gap analysis between existing policies and procedures and implement additional processes and controls as necessary
  • Design appropriate monitoring and testing roadmap and oversee implementation and ongoing compliance
  • Be responsible for overseeing due diligence processes between the company and Spring Partners
  • Be responsible for due diligence oversight of third-party vendors

Qualifications

  • 5-7+ years of experience in compliance at a financial institution or a company that focuses on providing services to financial institutions
  • Deep familiarity with at least some of the following: financial data privacy and security regulations (such as GLBA and CCPA), regulations applicable to consumer financial information (such as Fair Credit Reporting Act (“FCRA”)), BSA/AML, SOC & UDAAP
  • Experience with establishing policies, procedures and controls, conducting risk assessments and familiarity with third-party due diligence oversight
  • Ability to work independently and effectively collaborate with other teams to establish necessary procedures and controls
  • Excellent attention to detail
  • Bachelor's degree

Additional Qualifications (Preferred, Not Required)

  • Experience establishing controls and processes in a quickly-growing company (for example, at a “FinTech” company)
  • Experience with Business Continuity and Disaster Recovery Plans (BC/DR) and SOC Audit Reports
  • Masters degree or J.D. or certification in Compliance 

Equal Opportunity Statement:
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • GolangLanguages
    • JavascriptLanguages
    • PythonLanguages
    • SqlLanguages
    • ReactLibraries
    • Web3Libraries
    • ConnexionLibraries
    • OpenAPILibraries
    • FlaskFrameworks
    • Node.jsFrameworks
    • PostgreSQLDatabases
    • RedisDatabases
    • Google AnalyticsAnalytics
    • SEMrushAnalytics
    • IllustratorDesign
    • InVisionDesign
    • PhotoshopDesign
    • SketchDesign
    • AsanaManagement
    • ConfluenceManagement
    • JIRAManagement
    • SquarespaceCMS
    • SalesforceCRM
    • MailChimpEmail

Location

Sailing lessons, parasailing over the marina, cycling to Venice Beach, unique bars and restaurants are just a few reasons we love working here.

An Insider's view of Spring Labs

How does your team reward individual success?

There are many reward systems in place which help the company culture be more cohesive.

Peer to peer we have a few different ways to acknowledge one another. We have a high five system which is super fun. You can literally send a shout out to your peers for all their hard work on a daily basis!

Alicia

IT Engineer

What does your typical day look like?

The first thing I do is say "Hi" to my best friend in the world, Savannah. We gab about our previous evening, then head to the kitchen for some coffee! Then it's off to check emails! What a thrill. During lunch, we play our favorite game in the world "Categories!" Then we play ping pong. That's it. Or is it? It is. Or is it? It's not.

Taylor

Office Manager & Professional Jokester

How does the company support your career growth?

The company encourages me to pursue interests related to the work I’m doing on my team. They’re also never shy to lend a hand or start a pair programming session to help me understand a complex concept. I love how I’m supported to pursue interests that don’t directly relate to my job description.

Faris

Software Engineer

What unique initiatives do you have that encourage innovation?

At Spring Labs, we’re big believers in proactive accountability. We empower our employees with the responsibility and the information they need to make impactful business decisions. The best organizations are able to run autonomously, which is why we facilitate an environment that encourages proactivity and accountability.

Adam

Co-Founder and CEO

What makes someone successful on your team?

Compliance is successful when we use our influence to become a trusted business partner, essentially earning the respect of other team members in the organization. To gain that respect, the Compliance team must leave ego at the door and roll up our sleeves to accomplish the greater good for the company.

Shellie

Director, Governance and Compliance

What are Spring Labs Perks + Benefits

Spring Labs Benefits Overview

We champion our differences to find and pursue the best ideas to solve immense problems. People are our competitive advantage, which is why we make a concerted effort, in everything we do, to foster an innovative and collaborative culture that is rooted in humility, inclusiveness and overall respect.

Culture
Friends outside of work
Eat lunch together
Intracompany committees
Daily stand up
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Diversity
Documented equal pay policy
Dedicated Diversity/Inclusion Staff
Highly diverse management team
Unconscious bias training
Mean gender pay gap below 10%
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Acme employees can contribute up to $2500 annually to their FSA.
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Onsite Gym
Team workouts
Acme Co.'s team fitness initiatives include In-office yoga.
Retirement & Stock Options Benefits
401(K) Matching
We match 4% of contributions up to 4% of an employee's annual gross pay.
Company Equity
Performance Bonus
Child Care & Parental Leave Benefits
Flexible Work Schedule
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Perks & Discounts
Casual Dress
Company Outings
Stocked Kitchen
Some Meals Provided
Happy Hours
Parking
Pet Friendly
Recreational Clubs
Onsite Gym and weekly Yoga
Relocation Assistance
Our relocation assistance plan offers a maximum reimbursement of $5000.
Professional Development Benefits
Job Training & Conferences
Diversity Program
Lunch and learns
Cross functional training encouraged
Promote from within
Mentorship program
Our mentorship program includes Cross-department program.

Additional Perks + Benefits

Although we host weekly Spring Lab's dinner and game nights, our employees can often be found playing ping pong, planning moves on the office's shared chess board or going to lunch, happy hour, dinner or karaoke together. We love our culture and want to ensure each new hire is not only highly accomplished in their field, but also a perfect fit for the Spring Labs family.